Summary of Questions – ISO 20121 Auditor Knowledge Exam

Below is a summary of questions asked in the ISO 20121 Auditor Short Answer Test. Look through the questions below to do a self assessment of your knowledge. If you think you 'know it all' then please undertake the exam.

Pre-Amble Question:

Which event types (or organisation types e.g. venues) are you primarily experienced in? Please refer to these organisation/event types when answering the questions below, to contextualise your answers.

4.1 Understanding of the organisation and its context

Using one of the examples in the previous answer, explain internal and external factors which may affect the organisation achieving its event sustainability objectives. List one positive and negative aspect.
What documentation could be in place?
What other ways could you collect evidence of the context being addressed, relevant internal and external issues identified, and documented?*

4.2 Interested Parties

What is the main documentation that is required for clause 4.2?
Please provide an example of text that could be included in a procedure for 4.2.
Give an example of a technique to communicate event sustainability policy, processes or responsibilities, with a) staff, b) traders, c) venue/site, d) attendees.
How could an organisation plan and document the identification and engagement of interested parties?
How could the outputs or outcomes of engagement of interested parties be documented?
In interviews, how could you check that the procedures and plans have been put in place to identify and engage interested parties?

4.3 Scope

What is typically included in the scope of the management system?
Describe an aspect or activity which could be acceptable to exclude from scope?
Give an example of documentation in which the scope could be explained.

4.4 Event Sustainability Management System

How would you audit this clause? What would be acceptable evidence?

4.5 Sustainable Development Principles

What does sustainable development mean to you?
What are the overarching principles of sustainable development?
Give an example of existing protocols or programs which advocate globally accepted sustainable development principles.
Which SD principles must be included as a requirement of the standard and how could they be convyed by the organisation and to whom?

5.1 Leadership and Commitment

How can top management demonstrate commitment to the event sustainability management system?
How will you audit this clause? What documentation and evidence will be sufficient? What would you ask at a live interview?

5.2 Policy

What should be included in an event sustainability management policy?
What are some approaches and methods could be used to communicate the policy to relevant stakeholders.
Attached a copy of a policy you have written.

5.3 Organizational roles, responsibilities and authorities

Describe the relevant types of roles and associated sustainability tasks in the event types you are involved with. Ensure you match this to the requirements of this clause.
What evidence or documentation would be appropriate for conforming to clause 5.3?

6.1 Actions to address risks and opportunities

How does this clause interact with clause 4.1 and 4.2?
What tools could be used for identification planning actions to manage risks and opportunities (issues)?
What documentation is required under this clause? What are you looking for to be in place?
How would you review this clause at a site visit and interviews? Who would you interview?

6.1.3 Legal and other requirements

What steps could be included in a procedure to identify legal and other requirements?
Name the applicable acts, laws, regulations, or voluntary codes which may be applicable for events held in the region you usually work in.
Explain how you would test that the procedure has been put in place. What kind of interviews would you conduct or questions in interviews would you include? Who are you interviewing?
Upload a copy of a procedure you have written, that meets clauses 6.1.3

6.2 Event sustainability objectives and how to achieve them.

Give examples of the types of objectives and targets that could be in place at an event.
What documentation would you look for, which would hold the objectives and targets. In what format would they be communicated and to who?
What ten GRI EOSS performance indicators would you see as most relevant for the region or sector of the event industry that you primarily work in and plan to audit it?
Apart from the objectives and targets themselves being documented, what else needs to be documented for this clause and what time of documentation and communications methods would be used?
In onsite visits and interviews, how would you gauge if objectives and targets are in place and what evidence needs to be in place to show that the organisation/event/department is trying to achieve them. Give examples relevant to your chosen event sector.

7.1 Resources

How would an organisation determine what resources are needed to establish, implement and maintain the event sustainability management system? What evidence would you look for to see if they have undergone a process to determine needs?
Give examples of the types of resources which could be provided to fulfil this clause, in your chosen event sector.
What evidence are you looking for to see relevant resources are identified and actually provided? Give examples.
Who would you interview and what would you ask to establish that this clause has been adequately addressed?

7.2 Competency

What competencies are required by those undertaking work related to the event sustainability management system. Are there existing industry association which state competencies? If so list the competencies stated.
What type of activities could be undertaken to create competencies in those doing work under the organisation's control?
What documentation could be in place to log the competencies required and/or the competencies in place by those doing work under the organisation's control?
How would you evidence that the required competencies are in place?

7.3 Awareness

Who needs to be aware of the orgnization's sustainability policy and their principles of sustainable development?
How could this be communicated?
What documentation and evidence could be in place to prove a strategy for awareness is in place.
How does this clause interact with clause 4.2?
How would you evidence that awareness is in place?

7.4 Communication

How would an organisation determine required communications?
What evidence would be acceptable that they are determined communications needs?
What needs to be included in the communications?
Explain what could be included in the procedure required by this clause.
Explain what could be included in the procedure required by this clause.
Explain what could be included in the procedure required by this clause.

7.5 Documentation

List the documentation that is REQUIRED by this standard.
List the types of documentation that would be useful for an organisation to have, or that the organisation will have determined as necessary given their circumstances. Use the event sector you primarily work in as an example.

8.1 Operational planning and control

Explain how this clause interacts with 6.1
Given your chosen event sector, what type of processes would need to be in place?
What type of documentation would be suitable for these processes? Give examples.
What documentation would be sufficient to prove that the processes have been carried out as planned?
How would an organisation prove they controlled planned changes, reviewed the consequences of unplanned changes and that they have taken action to mitigate adverse effects?
Describe procedures that should be in place, for ensuring operational control, in the event sector in which you work.
Upload an example of a process or procedure for operational planning and control which you have been involved in creating or implementing.
How would you review that operational planning and control is in place at a site visit and interview?

8.2 Dealing with modified activities, products or services

How would you determine if this clause is relevant and implemented appropriately?
What documentation would be suitable for satisfying this clause, if it is relevant?

8.3 Supply Chain Management

What steps does an organisation need to take to ensure appropriate supply chain management, regarding sustainability?
What documentation could flow between organisation and supplier?
What documentation could be in place to confirm the steps taken by an organisation in ensuring effective supply chain management?

9.1 Performance against governing principles of sustainable development

How could an organisation evaluate its performance against governing principles of sustainable development?
How could the organisation's approach to this review be formally documented?
How would you assess that this clause has been adequately addressed?

9.2 Monitoring, measurement, analysis and evaluation

Given the event sector you usually work in, what should be monitored and measured?
Given the aspects you have described, list when these aspects should be monitored and measured.
Choose one aspect and describe the methods used for monitoring, measuring, analysis, evaluation of the aspect.
What documentation could be in place as evidence of the results of monitoring, measuring and evaluating?
How could the effectiveness of the event sustainability management system be evaluated and which other clauses does this cross over with?
Give examples of lessons learned which could be gleaned from performance measurement and evaluation, and how these lessons could be included to interested parties and in what format.
Give an example of equipment that could be used to gather performance data. Explain how this equipment would need to be calibrated or maintained. What evidence would you look for that this has been done?

9.3 Internal Audit

What should be included in an internal audit plan? How could this be documented?
Who should conduct the internal audit?
How could an internal audit be carried out?
What evidence would be sufficient to prove an internal audit is undertaken?

9.4 Management review

Describe the steps and levels that could occur in a management review.
What should be included in a management review?
What documentation is needed for proof of planning of and undertaking of a management review?
What could the outputs of a management review be? How would these be documented?
What questions would you ask or evidence you would look for to ensure adequate planning for an undertaking of a management review is in place?

10.1 Nonconformity and corrective action

Give examples of potential non-conformities.
Describe the difference between a non-conformity of standard's requirements and the non-conformity of the implementation of a requirement.
What steps are necessary in identifying non-conformties and in taking corrective action?
What documentation should be in place regarding non-conformities and corrective action?

10.2 Continual improvement

Give examples of continual improvement across several clauses of this standard.
How would you judge that continual improvement is embedded (planned, acted on and achieved)?